At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.
We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.
Title: Senior Associate, Core Compliance
Business Unit: Compliance
Location: London, UK
Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers. Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets. A subsidiary of MassMutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific.
Job Summary
Working with the Director, Core Compliance and other team members, this position is responsible for facilitating the tasks of the Core Compliance team. This includes administration of Barings’ thematic reviews and assessments as well as administration of the Code of Ethics and various other conflicts of interest policies such as the firm’s outside business activities, gifts and entertainment as well as handling other regulatory oversight and initiatives such as AML and KYC reviews. The incumbent regularly reviews processes and suggests improvements.
Primary Responsibilities
Support the Global Thematic Review and Assessment Program
- Undertake detailed thematic reviews and assessments of Barings Compliance Program and associated controls to confirm that they cover key risk issues and regulatory requirements
- Assist with the periodic review and update of the calendar for areas to be covered as part of the thematic review and assessment program with a risk-based focus
- Assist in determining appropriate recommendations arising from monitoring and surveillance tasks and work with the business to ensure timely completion
- Stay abreast of business and regulatory change to continually consider and suggest improvements to the programme
Support Code of Ethics
- Thoroughly understand the Code of Ethics and the automated personal trading system
- Handle complex personal trading issues
- Identify best practices and other potential Code enhancements
- Participate in upgrades to automated personal trading system
- Perform expanded forensic testing of Code
Assist with other Core Compliance Team deliverables, including:
- Assessing and overseeing Conflicts of Interest
- Review and approval of gifts and entertainment
- Review and approval of outside business activities
- Support the Financial Crime Prevention Program
- Preparation of and input to Client and Board/Governance Reporting
- Books and records requirements
- Maintenance and review of policies and procedures
- Preparation and delivery of training
- Technology initiatives
Qualifications
- Minimum 5-7 years asset management compliance experience required with a strong understanding and familiarity with Codes of Ethics and other conflicts of interest polices.
- Excellent verbal, written and interpersonal skills and the ability to communicate clearly with associates at all levels of the corporation.
- Strong work ethic; results-based, action oriented. Drives for business results; proven ability to deliver.
- Ability to work independently as well as collaboratively to achieve results, prioritize, and manage expectations.
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Requisite Skills
Additional Skills
Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.
